Baker Bros. Advisors Form 8.3 - Plethora - Position Dealing Disclosure
February 26 2016 - 10:00AM
UK Regulatory
TIDMTTM TIDMPLE
Form 8.3 - Plethora - Position Dealing Disclosure
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
Rule 8.3 of the Takeover Code (the "Code")
1. KEY INFORMATION
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(a) Full name of discloser: Baker Bros. Advisors LP
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(b) Owner or controller of interests and short positions disclosed,
if different from 1(a):
The naming of nominee or vehicle companies is insufficient. For
a trust, the trustee(s), settlor and beneficiaries must be
named.
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(c) Name of offeror/offeree in relation to whose relevant securities PLETHORA SOLUTIONS HOLDINGS
this form relates: PLC
Use a separate form for each offeror/offeree
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(d) If an exempt fund manager connected with an offeror/offeree, state
this and specify identity of offeror/offeree:
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(e) Date position held/dealing undertaken: February 25, 2016
For an opening position disclosure, state the latest practicable
date prior to the disclosure
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(f) In addition to the company in 1(c) above, is the discloser making NO
disclosures in respect of any other party to the offer?
If it is a cash offer or possible cash offer, state "N/A"
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2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
If there are positions or rights to subscribe to disclose in more than one class of relevant
securities of the offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each
additional class of relevant security.
(a) Interests and short positions in the relevant securities of the offeror or offeree to which the
disclosure relates following the dealing (if any)
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Class of relevant security: 1p Ordinary
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Interests Short positions
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Number % Number %
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(1) Relevant securities owned and/or controlled: 47,781,385 5.80
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(2) Cash-settled derivatives:
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(3) Stock-settled derivatives (including options) and
agreements to purchase/DEALING:
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TOTAL: 47,781,385 5.80
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Class of relevant security: Fund raising warrants
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Interests Short positions
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Number % Number %
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(1) Relevant securities owned and/or controlled: 28,619,528 28.29
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(2) Cash-settled derivatives:
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(3) Stock-settled derivatives (including options) and
agreements to purchase/DEALING:
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TOTAL: 28,619,528 28.29
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All interests and all short positions should be disclosed.
Details of any open stock-settled derivative positions (including traded options), or agreements to
purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).
(b) Rights to subscribe for new securities (including directors' and other employee options)
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Class of relevant security in relation to
which subscription right exists:
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Details, including nature of the rights
concerned and relevant percentages:
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3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE
Where there have been dealings in more than one class of relevant securities of the offeror or
offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class
of relevant security dealt in.
The currency of all prices and other monetary amounts should be stated.
(a) Purchases and sales
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Class of relevant Purchase/DEALING Number of Price per unit
security securities
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Ordinary 1p Sale 1,450,000 3.81p
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(b) Cash-settled derivative transactions
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Class of Product Nature of dealing Number of Price per
relevant description e.g. opening/closing a reference unit
security e.g. CFD long/short position, securities
increasing/reducing a
long/short position
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(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
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Class of Product Writing, Number Exercise Type Expiry Option
relevant description purchasing, of price e.g. date money
security e.g. call selling, securities per unit American, paid/
option varying etc. to which European received
option etc. per unit
relates
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(ii) Exercise
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Class of Product Exercising/ Number of Exercise price
relevant description exercised securities per unit
security e.g. call option against
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(d) Other dealings (including subscribing for new securities)
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Class of relevant Nature of dealing Details Price per unit (if
security e.g. subscription, conversion applicable)
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4. OTHER INFORMATION
(a) Indemnity and other dealing arrangements
February 26, 2016 10:00 ET (15:00 GMT)
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Details of any indemnity or option arrangement, or any agreement or understanding, formal or
informal, relating to relevant securities which may be an inducement to deal or refrain from dealing
entered into by the person making the disclosure and any party to the offer or any person acting in
concert with a party to the offer:
Irrevocable commitments and letters of intent should not be included. If there are no such
agreements, arrangements or understandings, state "none"
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None
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(b) Agreements, arrangements or understandings relating to options or derivatives
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NONE
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(c) Attachments
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Is a Supplemental Form 8 (Open Positions) attached? No
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Date of disclosure: 26 February 2016
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Contact name: Alexandra A. Toohey
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Telephone number: +1 212 339 5690
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Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and
must also be emailed to the Takeover Panel at monitoring@disclosure.org.uk. The Panel's Market
Surveillance Unit is available for consultation in relation to the Code's disclosure requirements on
+44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.
Baker Bros. Advisors LP
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